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Jonathan Wowak, Chief Operating Officer, Cipperman Compliance - PowerPoint PPT Presentation

New Ideas to Strengthen Your Firm Against Relentless Cyber Criminals Joshua Mooney, Partner, White and Williams Jonathan Wowak, Chief Operating Officer, Cipperman Compliance Services Michael Quinn, Managing Director, Kroll


  1. New Ideas to Strengthen Your Firm Against Relentless Cyber Criminals • Joshua Mooney, Partner, White and Williams • Jonathan Wowak, Chief Operating Officer, Cipperman Compliance Services • Michael Quinn, Managing Director, Kroll

  2. Cybersecurity • The current cyber threat environment for the financial services industry -Federal/International -The latest threats Business e-mail fraud Wire transfer fraud -What you should expect Targeted Ransomware Phishing Malware

  3. Cybersecurity • The SEC’s cybersecurity exam environment - “Cyber 3” exam sweep (OCIE) Advisers w/ remote offices Advisers who have merged -What being requested by SEC -Two recent OCIE risk alerts Reg. S-P Cloud Vendors • Guidance takeaways from SEC’s Cybersecurity Risk Alerts (4)

  4. Cybersecurity • The SEC’s cybersecurity enforcement environment -Lessons learned from enforcement cases Voya Financial Advisors • Reg. S-P • Reg. S-ID

  5. Cybersecurity • Best Practices for Six Cyber Focus Areas 1) Governance and Risk Assessment -Initial and ongoing risk assessment -Creation of Cyber P&Ps 2) Access Rights and Controls -Admin credentials 3) Data Loss Prevention

  6. Cybersecurity 4) Vendor Management/Due Diligence -Penetration testing/vulnerability assessments -Checklist for due diligence 5) Training Tactics -Internal training (employees) -Tabletop exercises -External training (clients) 6) Incident Response Planning -The Workflow of a Data Breach Response

  7. Cybersecurity • State Privacy Laws Impact (California, New York etc.) • The General Data Protection Regulation (GDPR) -An update • Cybersecurity insurance

  8. New Ideas to Strengthen Your Firm Against Relentless Cyber Criminals • Joshua Mooney, Partner, White and Williams • Jonathan Wowak, Chief Operating Officer, Cipperman Compliance Services • Michael Quinn, Managing Director, Kroll

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